Montreal Exchange – Investment Executive https://www.investmentexecutive.com Canada's news source for financial professionals Thu, 09 Jan 2025 19:53:09 +0000 en-US hourly 1 https://wordpress.org/?v=5.9.3 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Montreal Exchange – Investment Executive https://www.investmentexecutive.com 32 32 Broker fined for unauthorized access violations https://www.investmentexecutive.com/news/from-the-regulators/broker-fined-for-unauthorized-access-violations/ Thu, 09 Jan 2025 19:53:09 +0000 https://www.investmentexecutive.com/?p=499862 Marex Capital Markets sanctioned in settlement with MX

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]]> NBF settles supervisory allegations with MX https://www.investmentexecutive.com/news/from-the-regulators/nbf-settles-supervisory-allegations-with-mx/ Mon, 23 Dec 2024 14:10:30 +0000 https://www.investmentexecutive.com/?p=499144 Firm failed to fully investigate potentially manipulative trading by an ex-employee

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]]> MX sanctions Citi for reporting violations https://www.investmentexecutive.com/news/from-the-regulators/mx-sanctions-citi-for-reporting-violations/ Fri, 19 Jul 2024 18:01:01 +0000 https://www.investmentexecutive.com/?p=489662 Weaknesses in position reporting uncovered in compliance review

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]]> Desjardins sanctioned in MX settlement https://www.investmentexecutive.com/news/from-the-regulators/desjardins-sanctioned-in-mx-settlement/ Thu, 28 Mar 2024 21:13:23 +0000 https://www.investmentexecutive.com/?p=482962 Trader placed numerous potentially misleading orders in bond futures

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]]> MX proposes new trading functionality https://www.investmentexecutive.com/news/from-the-regulators/mx-proposes-new-trading-functionality/ Thu, 09 Nov 2023 21:22:30 +0000 https://www.investmentexecutive.com/?p=475012 Exchange aims to enhance appeal with new order type and automation

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]]> MX to launch Bitcoin futures https://www.investmentexecutive.com/news/from-the-regulators/mx-to-launch-bitcoin-futures/ Tue, 03 Oct 2023 19:06:42 +0000 https://www.investmentexecutive.com/?p=472573 New cash-settled index futures to arrive in January

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]]> MX sanctions weak trading oversight https://www.investmentexecutive.com/news/from-the-regulators/mx-sanctions-weak-trading-oversight/ Fri, 08 Sep 2023 17:20:29 +0000 https://www.investmentexecutive.com/?p=471229 Wedbush Securities fined for compliance failings

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]]> MX settles over firm’s supervisory weaknesses https://www.investmentexecutive.com/news/from-the-regulators/mx-settles-over-firms-supervisory-weaknesses/ Mon, 17 Jul 2023 18:42:52 +0000 https://www.investmentexecutive.com/?p=468806 JitneyTrade fined $90,000 for weak controls over direct-access clients

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]]> MX fines firm for weak controls https://www.investmentexecutive.com/news/from-the-regulators/mx-fines-firm-for-weak-controls/ Fri, 12 May 2023 17:24:47 +0000 https://www.investmentexecutive.com/?p=465507 Laurentian Bank Securities sanctioned for supervisory shortcomings

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]]> MX seeks market surveillance boost https://www.investmentexecutive.com/news/from-the-regulators/mx-seeks-market-surveillance-boost/ Tue, 28 Mar 2023 22:04:04 +0000 https://www.investmentexecutive.com/?p=462885 Exchange proposes new client ID requirements

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